Documents

Transfer Agent Rules

Federal Register · Proposed Rule · Sep 4, 2026

SUMMARY: The U.S. … U.S.

Transaction Fee Pilot for NMS Stocks

Federal Register · Rule · Feb 20, 2019

421   See Proposing Release, supra note 2, at 13033. 422   See id. 423   See id. … Table 2—Summary of Transaction-Based Fee Schedules for U.S.

Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report

Federal Register · Rule · Jan 21, 2025

See, e.g., 15 U.S. … by personnel of an agent of such non-U.S. person located in a U.S. branch or office (“ANE Activity”).

Crowdfunding

Federal Register · Proposed Rule · Nov 5, 2013

See also U.S. … U.S.

Conformed to Federal Register version

Agency decision · Agency decision

Ass’n of U.S., Inc. v. State Farm Mut. Auto. Ins. … See also ICI Letter II at 4. 202 Table 1: U.S.

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Federal Register · Proposed Rule · Apr 11, 2022

See also U.S. … The U.S.

Amendments to Rule 2-01, Qualifications of Accountants

Federal Register · Proposed Rule · Jan 15, 2020

During the period from January 1, 2016, to December 31, 2018, there were 6,310 mergers and acquisitions entered into by publicly listed U.S. firms. … Nilabhra Bhattacharya, Frank Ecker, Per Olsson, and Katherine Schipper, Direct and Mediated Associations among Earnings Quality, Information Asymmetry and the Cost Of Equity, 87, Acct Rev. (2012) 449-482

Regulation Systems Compliance and Integrity

Federal Register · Rule · Dec 5, 2014

entities are already subject to litigation risk. 421   See supra note 405 and accompanying text. 422   See supra Section IV.B.3.a (discussing the triggering standard). 423 … B), the Commission intended for SCI entities to engage in a careful risk-based assessment (as suggested by some commenters)  481 of its SCI systems to determine when to stress test its systems. 482

Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A

Federal Register · Rule · Aug 3, 2023

Treasury Debt; U.S. Government Agency Debt, if categorized as coupon-paying notes; U.S. Government Agency Debt, if categorized as no-coupon discount notes; Non-U.S. … Government Agency securities, U.S.

Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by the Commission, Regarding Implementation of a Revised Funding Model

Federal Register · Notice · Mar 19, 2026

On July 25, 2025, the U.S. … If it were to commence during the year, the CAT Fee would be calculated as if it were a mid-year calculation. 482 482   See proposed Section 11.3(a)(i)(A)(IV).

Market Data Infrastructure

Federal Register · Rule · Apr 9, 2021

See Cboe: U.S. … See CTA Key Operating Metrics of Tape A&B U.S.

Form CRS Relationship Summary; Amendments to Form ADV

Federal Register · Rule · Jul 12, 2019

. at 651; Milavetz, 559 U.S. at 250. … See U.S.

Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders

Federal Register · Proposed Rule · Dec 29, 2022

See also Enhancing U.S. … Werner, U.S.

Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

Federal Register · Proposed Rule · Nov 23, 2012

This could, among other potential impacts, affect the ability of intermediaries and other market participants based in the U.S. to participate in non-U.S. markets, the ability of non-U.S. … Background The U.S.

Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations

Federal Register · Proposed Rule · Feb 9, 2007

For example, the U.S. … For these reasons, the Commission estimates that the average annual cost to an NRSRO would be $10,250  423 and the total aggregate annual cost to the industry would be $307,500. 424 422

Updated to include Federal Register corrections dated 10/14/14

Agency decision · Agency decision

Andrews, U.S. … CMBS data relates to U.S. CMBS, including U.S. conduit/fusion and U.S. single borrower.

Amendments to Regulation SHO

Federal Register · Rule · Mar 10, 2010

Citera, Executive Director, U.S. … Russo, Managing Director and Head of U.S.

Universal Proxy

Federal Register · Rule · Dec 1, 2021

Auto-Lite Co., 396 U.S. 375, 381 (1970); J. I. Case Co. v. Borak, 377 U.S. 426, 431 (1964). … the officers and directors are U.S. citizens or residents; (ii) more than 50% of the issuer's assets are located in the U.S.; or (iii) the issuer's business is principally administered in the U.S.

Based on feedback from users of prior annual reports, we are pleased

Agency decision · Agency decision

U.S. … See U.S.

Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report

Federal Register · Proposed Rule · Apr 18, 2023

swap dealing transactions that were arranged, negotiated, or executed by personnel located in a U.S. branch or office, or by personnel of an agent of such non-U.S. person located in a U.S. branch or office … . counterparties or U.S. guarantees.